Editorial Note on Part 40
Editorial Note: Nomenclature changes to part 40 appear at 73 FR 33329, June 12, 2008.

§ 40.311 What are the requirements concerning SAP reports? ( a ) As the SAP conducting the required evaluations, you must send the written reports required by this section in writing directly to the DER and not to a third party or entity for forwarding to the DER (except as provided in § 40.355(e)). You may, however, forward the document simultaneously to the DER and to a C/TPA.
( b ) As an employer, you must ensure that you receive SAP written reports directly from the SAP performing the evaluation and that no third party or entity changed the SAP's report in any way.
( c ) The SAP's written report, following an initial evaluation that determines what level of assistance is needed to address the employee's drug and/or alcohol problems, must be on the SAP's own letterhead (and not the letterhead of another service agent) signed and dated by the SAP, and must contain the following delineated items: ( 1 ) Employee's name and SSN or employee ID No.;
( 2 ) Employer's name and address;
( 3 ) Reason for the assessment (specific violation of DOT regulations and violation date);
( 4 ) Date(s) and format (*i.e.,* face-to-face or remote) of the assessment;
( 5 ) SAP's education and/or treatment recommendation; and
( 6 ) SAP's telephone number.
( d ) The SAP's written report concerning a follow-up evaluation that determines the employee has demonstrated successful compliance must be on the SAP's own letterhead (and not the letterhead of another service agent), signed by the SAP and dated, and must contain the following items: ( 1 ) Employee's name and SSN or employee ID No.;
( 2 ) Employer's name and address;
( 3 ) Reason for the initial assessment (specific violation of DOT regulations and violation date);
( 4 ) Date(s) and format (*i.e.,* face-to-face or remote) of the initial assessment and synopsis of the treatment plan;
( 5 ) Name of practice(s) or service(s) providing the recommended education and/or treatment;
( 6 ) Inclusive dates of employee's program participation;
( 7 ) Clinical characterization of employee's program participation;
( 8 ) SAP's clinical determination as to whether the employee has demonstrated successful compliance;
( 9 ) Follow-up testing plan;
( 10 ) Employee's continuing care needs with specific treatment, aftercare, and/or support group services recommendations; and
( 11 ) SAP's telephone number.
( e ) The SAP's written report concerning a follow-up evaluation that determines the employee has not demonstrated successful compliance must be on the SAP's own letterhead (and not the letterhead of another service agent), signed by the SAP and dated, and must contain the following items: ( 1 ) Employee's name and SSN or employee ID No.;
( 2 ) Employer's name and address;
( 3 ) Reason for the initial assessment (specific DOT violation and date);
( 4 ) Date(s) and format (*i.e.,* face-to-face or remote) of initial assessment and synopsis of treatment plan;
( 5 ) Name of practice(s) or service(s) providing the recommended education and/or treatment;
( 6 ) Inclusive dates of employee's program participation;
( 7 ) Clinical characterization of employee's program participation;
( 8 ) Date(s) of the first follow-up evaluation;
( 9 ) Date(s) of any further follow-up evaluation the SAP has scheduled;
( 10 ) SAP's clinical reasons for determining that the employee has not demonstrated successful compliance; and
( 11 ) SAP's telephone number.
( f ) As a SAP, you must also provide these written reports directly to the employee if the employee has no current employer and to the gaining DOT regulated employer in the event the employee obtains another transportation industry safety-sensitive position.
( g ) As a SAP, you are to maintain copies of your reports to employers for 5 years, and your employee clinical records in accordance with Federal, state, and local laws regarding record maintenance, confidentiality, and release of information. You must make these records available, on request, to DOT agency representatives (*e.g.,* inspectors conducting an audit or safety investigation) and representatives of the NTSB in an accident investigation.
( h ) As an employer, you must maintain your reports from SAPs for 5 years from the date you received them.
[65 FR 79526, Dec. 19, 2000, as amended at 88 FR 27650, May 2, 2023]